Procedure for the Investigation of Allegations of Misconduct in Research September 2013 Document Title
Total Page:16
File Type:pdf, Size:1020Kb
Procedure for the Investigation of Allegations of Misconduct in Research September 2013 Document title Procedure for the Investigation of Allegations of Misconduct in Research September 2013 Document author and department Responsible person and department Karen Musk, Research Manager Dr David Arrell, (Strategy and Policy), Pro Vice-Chancellor, Research and Innovation Services Directorate Approving body Date of approval Audit and Quality Committee 13 September 2013, Min 98 Academic Council 23 June 2015, Min 69 Review date Edition no. ID code September 2016 1 23 Review ongoing, please contact [email protected] if you have any queries. EITHER OR For public access online (internet)? For staff access only (intranet)? Tick as appropriate Tick as appropriate Yes 3 Yes For public access on request copy to be mailed Password protected Tick as appropriate Tick as appropriate Yes 3 No Yes No 3 External queries relating to the document to be referred in the first instance to the University Secretary: telephone +44 (0)23 9284 3195 or email [email protected] If you need this document in an alternative format, please contact +44 (0)23 9284 5776. The latest version of this document is always to be found at: http://policies.docstore.port.ac.uk/policy-023.pdf Contents Page no. Summary . 4 A. Introduction . 4 B. Scope . 5 C. Definitions . 5 D. Receipt of allegations . 7 E. Preliminary Investigation . 8 F. Preliminary Investigation: Findings and subsequent actions . 9 G. Formal Investigation . 10 H. Formal investigation: Findings and subsequent actions . 11 I. Reporting to the University Research and Enterprise and Innovation Committees . 13 Annex 1 Principles . 14 Annex 2 Standards for the Conduct of this Procedure . 17 Annex 3 Bibliography . 18 Annex 4 Procedure flowchart . 19 UNIVERSITY OF PORTSMOUTH PROCEDURE FOR THE INVESTIGATION OF ALLEGATIONS OF MISCONDUCT IN RESEARCH SEPTEMBER 2013 3 Procedure for the Investigation of Allegations of Misconduct in Research Summary What is this Procedure about? This Procedure sets out a framework for the investigation and resolution of allegations of misconduct in research . It explains what constitutes misconduct in research (as opposed to general misconduct), how concerns about research conduct can be raised, and what procedures will be followed in the event that an allegation of research misconduct is received . Who is this Procedure for? This document will be of most interest to staff, research students and all others conducting research under the auspices of the University . It will also be of interest to those organisations that participate in and/or provide funding to support research . It may also be of interest to the wider public . How does the University check this Procedure is followed? Details of any investigations of research misconduct will be reported, in confidence, to the University Research and Enterprise and Innovation Committees, which are chaired by the Pro Vice‑Chancellor with responsibility for Research . In addition, internal audits of the application of this procedure may be undertaken from time to time . Who can you contact if you have any queries about this Procedure? If you have any questions about this Procedure, please contact the Research Manager (REF and Governance) in the University’s Research and Innovation Services department at [email protected] . A. Introduction 1 . Ensuring and sustaining integrity in all aspects of research is a core aspect of the University’s commitment to the advancement of knowledge . Misconduct in research damages the integrity of research, brings both the individual and the institution into disrepute and can, in extreme circumstances, cause harm to those involved in research . This Procedure has been approved by the Board of Governors and Academic Council of the University to provide a procedural framework for investigating allegations of misconduct in research conducted under the auspices of the University . 2 . Research misconduct is an extremely serious matter and, therefore, the University has a duty to ensure that such individuals receive appropriate training in the relevant ethical, legal and other conventions . The University seeks to sustain this approach by providing an environment that fosters and supports honesty in research and also discourages unacceptable behaviour by dealing seriously and sensitively with all allegations of misconduct in research . 3 . It is a condition of conducting research under the auspices of the University and/or on University premises that practice conforms to the UK Research Integrity Office Code of Practice for Research (2009) . Failure by a researcher to comply with the provisions of that Code will be grounds for action to be taken under this Procedure . 4 . Staff, research students and all others conducting research under the auspices of the University are required to report misconduct in research where they have good reason to believe it is occurring . The University will investigate allegations or complaints about misconduct in research . Those making an allegation or complaint will not be penalised, provided that it is done without malice and in good faith, reasonably believing it to be true . 5 . When an allegation of research misconduct is raised under the University’s Whistleblowing Policy, at the point when the allegation is considered (section 6 .2 Next steps), the University Secretary (the designated Whistleblowing Officer) will refer the allegation of research misconduct to be dealt with under this Procedure . 6 . This Procedure is compatible with the principles of the Universities UK Concordat to support research integrity (2012), the RCUK Policy and Guidelines on the Governance of Good Research Conduct (2013) and the UK Research Integrity Office’s Procedure for the Investigation of Misconduct in Research (2008) . 4 PROCEDURE FOR THE INVESTIGATION OF ALLEGATIONS OF MISCONDUCT IN RESEARCH SEPTEMBER 2013 UNIVERSITY OF PORTSMOUTH B. Scope 7 . This Procedure applies to any person conducting research under the auspices of the University, whether solely or in conjunction with others in the University or with other organisations, including, but not limited to: i) a member of staff; ii) a research student; iii) an independent contractor or consultant; iv) a person with visiting or emeritus status; and v) a member of staff on a clinical, honorary or secondment contract . 8 . This Procedure recognises that the investigation of allegations of research misconduct can involve complex issues and seeks to discharge the University’s responsibilities in a sensitive and fair manner . It outlines the process to be followed when allegations of misconduct in research are brought against a researcher in relation to research conducted under the auspices of the University . 9 . The Procedure will be carried out in accordance with the Principles of Fairness, Confidentiality, Integrity and Prevention of Detriment, as set out in Annex 1, and the Standards set out in Annex 2 . Those responsible for carrying out this Procedure must ensure they are familiar with the Principles and Standards . 10 . This Procedure will normally apply to research students who are registered for an MPhil, MD, PhD or a Professional Doctorate, but not normally to undergraduate or taught postgraduate students . Taught student misconduct is dealt with under the University’s Code of Student Behaviour . 11 . The University will follow this Procedure even in the event that the individual(s) concerned has left or leaves the jurisdiction of the University, either before the operation of this Procedure is concluded or before the allegation(s) of research misconduct was made . 12 . Nothing in this Procedure shall limit the right of the University or a member of staff or a student of the University to exercise their rights under any University policies concerning discipline and grievance . 13 . Proven research misconduct may result in action being taken under the University’s disciplinary procedures for staff or research students, as appropriate, or other relevant process and may be considered good cause for: dismissal in the case of members of staff; programme termination in the case of registered students; and rescission of award in the case of graduates of the University . Reports generated by this Procedure may be used in evidence by the University’s disciplinary procedures and other processes and may be released in reporting the matter to any appropriate external organisation . 14 . Alleged misconduct in research relating to a thesis which has been submitted for examination will be investigated under this Procedure . 15 . Any allegations of financial fraud or other misuse of research funds or research equipment will be addressed under the University’s Procedure for the Investigation of Alleged Financial and other Irregularities instead of under this Procedure . 16 . For the avoidance of doubt, misconduct in research includes acts of omission as well as acts of commission . As well as complying with accepted procedures, researchers must comply with all legislation that applies to the conduct of their research; the standards by which allegations of misconduct in research should be judged should be those prevailing at the date that the behaviour under investigation took place . Misconduct in research does not include unintentional error or professional differences in interpretation or judgement of data . C. Definitions (in alphabetical order) 17 . Accepted procedures include but are not limited to the following: i) gaining informed